JD Supra2d
SEC Rule 13f-2 and Form SHO: New Short Position Reporting Requirements for Certain Investment Managers
The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act ...
JD Supra1d
SEC Off-Channel Communications Enforcement Sweep Continues - Settlements by 12 Firms and Assessments of Over $63 Million in Penalties
On January 13, 2025, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against twelve firms for recordkeeping ...
thecurrencyanalytics6d
SEC’s Closed Meeting Under Mark Uyeda and Ripple Lawsuit Update
The SEC's first closed meeting under Acting Chair Mark Uyeda may influence the ongoing Ripple lawsuit, with experts ...
Securities Law and Practice Need Reorienting Around Materiality
Cleary Gottlieb’s Adam Fleisher explains why the securities law framework needs simplification with a new approach to company ...
January Global Regulatory Brief: Trading and markets
Regulatory authorities continue to advance initiatives to improve the efficiency and sophistication of global securities ...
CoinDesk9d
It's Official: Gary Gensler Is Out at the SEC, and Crypto-Friendly Mark Uyeda Is In
President Donald Trump has elevated Republican Commissioner Mark Uyeda to take over the SEC from a now-departed Gary Gensler.